United States Support for the United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects

July 10, 2008

Last Revised and Updated July 10, 2008

UN Programme of Action

U.S. Laws and Policies Supportive of the UN POA

U.S. Assistance and Programs Supportive of the UN POA

U.S. Global/Regional Activity Supportive of the UN POA

Section II, para 2 Section II, para 3

Domestic laws and procedures to control production and transfer of SA/LW

Legislation to criminalize illicit SA/LW activities

U.S. law requires that anyone engaged in the business of commercial manufacturing, dealing in or importing of firearms must be licensed under the Gun Control Act of 1968 (GCA). The GCA provides criminal and civil penalties for firearms violations, ranging from license revocation to fines and imprisonment for ten years. U.S. legislation adopted in 2004 substantially increased criminal penalties for the unlawful possession, export, import, or transfer of man-portable air defense systems (MANPADS). Long mandatory jail sentences and severe monetary penalties were established to deter unlawful activities involving MANPADS. U.S. law (Arms Export Control Act) also requires that a U.S. person engaged in the business of manufacturing defense articles to include Category I/II of the International Traffic in Arms Regulations (ITAR) must be registered with the Department of State

In the U.S. Government, responsibility for researching and monitoring the illicit SA/LW trade is generally shared by the Department of Justice’s (DOJ) Bureau of Alcohol, Tobacco Firearms and Explosives (ATF) (domestic), the Department of State (DOS) (international and domestic from an export, temporary import, and brokering perspective), the Department of Defense (DOD), and the Department of Homeland Security (DHS). ATF also regulates the interstate commerce of firearms through enforcement of the Gun Control Act, the Arms Control Act, and the National Firearms Act and traces firearms for law enforcement through its National Tracing Center (NTC).

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Section II, para 5 Appointment of a national point of contact to act as liaison on matters relating to UN POA implementation

U.S. law enforcement agencies cooperate with each other and with their foreign counterparts to combat the illicit manufacturing of and trafficking in SA/LW.

In the U.S., firearm dealers are required to conduct background checks on potential buyers through the National Instant Criminal Background Check System (NICS), operated by the Federal Bureau of Investigation (FBI).

Through diplomatic channels, the United States regularly works with foreign governments to identify and prevent illicit and/or potentially destabilizing transfers of arms.
The NTC traces firearms for U.S. and foreign law enforcement agencies that are of U.S. origin and have been used in or suspected to have been used in criminal activities. ATF also assists law enforcement agencies in recovering obliterated or altered serial numbers.

Upon request and consistent with U.S. law, the United States shares information on such groups or individuals with Interpol, Europol and with appropriate law enforcement agencies of individual foreign governments.

Section II, para 7, 8 Section III, para 12

Marking of all SA/LW at time of manufactureMeasures to prevent manufacture, transfer, possession of unmarked SA/LWExchange on marking practices

All licensed importers and manufacturers are required to mark each firearm manufactured or imported into the United States with the serial number, make, model, and caliber or gauge of the firearm, as well as the name, city, and state or foreign country of the manufacturer, and if imported, the city and state of the importer. Confiscated firearms retained for official use are marked if not already marked.
Since the 2001 UN Conference on SA/LW, ATF has established specific height (1/16th inch) and depth (0.003 inch) marking requirements for licensees who import or manufacture firearms.

ATF offers a Basic Firearms Identification Course for international law enforcement professionals, and other courses, which provide training on marking techniques and firearms identification. The U.S. has provided a report on national firearms marking practices to the Organization for Security and Cooperation in Europe (OSCE) and the Organization of American States (OAS). The U.S. also works through the International Law Enforcement Academies (ILEAs) to provide expertise to representatives of foreign law enforcement agencies to combat illicit manufacturing and trafficking in SA/LW. In addition, the U.S. assisted the Regional Center on Small Arms and Light Weapons (RECSA) member states in 2007-2008 with the purchase of marking machines and record keeping computers.

The U.S. actively participated in the Open-Ended Working Group (OEWG) on marking and tracing illicit SA/LW and supported the Instrument adopted by consensus in June 2005. The U.S. also worked with other OAS countries to develop legislative guides to aid implementation of the UN Firearms Protocol and the Inter-American Convention on Illicit Manufacturing and Trafficking of Firearms (CIFTA).

ATF provides technical, legal and programmatic information on currently-accepted U.S. best practices for marking and tracing in numerous international fora.

In 2008, The U.S. offered eTrace to all CARICOM member states in order to identify illicit trafficking routes and illicit traffickers in the Caribbean.

Annually, at the ILEA in El Salvador, the U.S. experts conduct for the Western Hemisphere states courses on firearms and explosives identification, serial number restoration and firearms investigations.

Section II, para 9

"Record keeping" on manufacture, holding and transfer

Commercial manufacturers are required to maintain records of the manufacture, exports and other acquisition of firearms. Licensed manufacturers must maintain permanently records of firearms manufactured. Licensed importers of all defense articles must maintain records for 6 years and exporters and brokers of defense articles and defense services must maintain records for 5 years. Certain firearms (e.g. machine guns) must be registered under the National Firearms Act. All licensed dealers must maintain Firearms Transaction Records of all sales and transfers (Form 4473) of firearms for not less than 20 years. If dealers go out of business, they are required to submit these records to ATF for permanent retention.

Under the AECA, manufacturers, exporters, or brokers of defense articles, including SA/LW, or defense services must register with the Department of State. Those in the business of manufacturing, exporting or brokering (exporting or importing) of defense articles or defense services must register (Form DS-2032). Records must be maintained by each registrant in readable form and available at all times for review by the Department of State DDTC for five years from the last event or expiration.

The U.S. assisted the Regional Center on Small Arms and Light Weapons (RECSA) member states in 2007-2008 with the purchase of marking machines and record keeping computers.

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Section II, para 10 Responsibility for national holdings and traceability of arms

DOD has a central register administered by the U.S. Army Logistical Support Activity (LOGSA), which is responsible for the serialization and accountability of all DOD SA/LW.

According to the most recent data available, between 1994 and 2006, ATF responded to over 200,000 requests from foreign law enforcement agencies for assistance in tracing illegal firearms. DOJ participates in biannual Senior Law Enforcement Plenary meetings with counterparts in Mexico and the annual U.S.-Canada Cross-border Crime Forum to address cross-border firearms trafficking and other bilateral issues.

The United States actively participated in the OEWG on marking and tracing illicit SA/LW and supports the Instrument adopted by consensus in June 2005.

Section II, para 11

Export and import licensing

ATF has authority over the permanent importation of firearms to the U.S. With limited exceptions, firearms must be imported by an importer licensed by ATF and each license must be authorized. The Arms Export Control Act (AECA) establishes procedures for both government-to-government and commercial sales of items included on the United States Munitions List (USML). The DOS’s Directorate of Defense Trade Controls (DDTC) is charged with controlling the export and temporary import and brokering of defense articles and defense services covered by the USML (which includes SA/LW and associated ammunition) and with taking final action on license applications for defense trade exports and matters related to defense trade compliance, enforcement and reporting. By law, all importers and exporters must be registered; all exports and temporary imports of SA/LW and ammunition must be authorized pursuant to implementing regulations administered by DDTC and all imports by ATF.

The DOS’ Bureau of International Security and Nonproliferation (ISN) provides export and border control assistance to 55 countries under the Export Control and Related Border Security (EXBS) assistance program. Equipment and training delivered under the EXBS program enhances the ability of recipient countries to control the import, export, re-export, transit and trans-shipment of items of proliferation concern (including SA/LW) and interdict illicit trafficking in these items.

ATF conducts an annual firearms importers workshop and conference in Washington to assist the industry in complying with its obligations.

The United States supports the OAS Secretariat Department of Multidimensional Security (OAS/DMS) in combating illicit arms trafficking in the Western Hemisphere. The United States promotes capacity building and compliance with the Inter-American Convention on Illicit Manufacturing and Trafficking of Firearms (CIFTA) through the funding of training programs.

Section II, para 12

End-user certification; legal and enforcement measures

The United States monitors arms transfers, investigates suspicious activity, and acts quickly to curtail exports to those recipients who do not meet the strict criteria for responsible use. A sample U.S. end-use certificate (DSP-83) can be found at http://www.pmdtc.org/getforms.htm.

Through the “Blue Lantern” Program, US Embassy staff worldwide conduct periodic end-use checks on commercial SA/LW exports (as well as other U.S.-controlled munitions) to ensure that the exported items are being used according to the terms authorized by the license and by a bona fide end-user. Inquiries range from interviews with end-users to physical inspections. Nearly 6,000 end-use checks have been performed since the inception of this program in 1990, including 705 in 2007 in over 90 countries. Unfavorable Blue Lantern checks can result in denial or revocation of export licenses, debarment, and criminal or civil penalties under the AECA and ITAR. Annual Blue Lantern End-Use Monitoring reports to the U.S. Congress can be found at www.pmddtc.state.gov/reference.htm#reports.

The “Golden Sentry” program, administered by the Defense Security Cooperation Agency (DSCA), performs similar checks on military-to-military arms transfers (http://www.dsca.osd.mil/). For MANPADS, the U.S. conducts full annual on-site inventories of U.S.-origin items exported to foreign end-users.

U.S. experts provide briefings and presentations to foreign government officials, NGOs, the defense industry, and international export control conferences (e.g. February 2005 EU Conventional Arms Exports or COARM Conference, June 2005 Wassenaar Arrangement plenary, 2006 Berlin Export Control Seminar, March 2007 8th Annual Export Control Conference, December 2007 U.S.-CARICOM Partnership to Combat Illicit Trafficking in Arms), on developing and implementing effective export control mechanisms, including end-use monitoring. DOS/ISN funds training of foreign officials that specifically focuses on analyzing end users to identify potential proliferators when reviewing license requests for the export, re-export, transit or trans-shipment of goods. It also funds educational visits, exchanges and briefings for export control and law enforcement officials from foreign countries as part of the EXBS program.

ATF also participates in industry meetings and trade shows in the United States and abroad, providing information to participants on import-related regulatory and enforcement issues.

Through DOS/DDTC, the United States regularly conducts briefings for countries and international organizations on the “Blue Lantern” program. Over 30 such country visits/briefings have been conducted in the past 5 years.

Through the DOS Bureau of Verification, Compliance, and Implementations (formerly Bureau of Arms Control), the United States took the lead in drafting the 2004 OSCE Forum for Security Cooperation Decision on “Standard Elements of End-User Certificates and Verification Procedures for SA/LW Exports,” emplacing standards in the OSCE with regard to export documentation to reduce the risk of diversion of SA/LW into the illicit market.

Through DOS/ISN, the United States works in the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies to strengthen end-user controls, and supports efforts in the OSCE to strengthen end-use documentation.

Section II, para 13

Re-export authority

All U.S. defense exports are subject to retransfer approval. In the case of commercial sales, all parties to the retransfer must be identified to include the end-use, end-user and country.

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The United States is supportive of efforts in Wassenaar and other regional organizations to get states to enact or strengthen re-export controls.

By law, all U.S. manufacturers, importers, exporters, and brokers of commodities covered by the USML must register with DDTC. All U.S. citizens and permanent residents overseas or in the United States, and foreign nationals subject to U.S. jurisdiction, are subject to the U.S. brokering law. This includes U.S. persons who engage in the brokering of any defense articles (whether U.S. or foreign origin) and foreign persons who engage in the brokering of U.S. defense articles and defense services.

All brokers registered with the U.S. government must report their brokering activities whether the transaction was completed or not and the authorization under which the brokering activities occurred on an annual basis.

A list of individuals and entities debarred from participating in an arms export or engagement in brokering activities who have been found guilty of an Arms Export Control violation, can be found at http://pmdtc.org/debar059intro.htm.
For persons who are otherwise ineligible, to include ineligible to engage in U.S. Government contracts, see www.gsa.gov or other USG websites.

The United States provides export and border control assistance to 55 countries under the EXBS program that includes training which addresses arms brokering activities and related laws, regulations, and enforcement tools.

In June 2002, the U.S. sponsored an OAS General Assembly (OASGA) resolution calling for the development of model brokering regulations and the preparation of a study on arms brokering. The U.S. participated in the April 2003 OAS/CICAD Firearms Experts Group meeting that drafted model brokering regulations (adopted by the OASGA in 2003). In December 2003, the United States supported the Wassenaar Arrangement’s document on “Elements for Effective Legislation on Arms Brokering.”

The U.S. also has participated in UN broad-based consultations on further steps to enhance international cooperation in preventing, combating and eradicating illicit brokering in SA/LW.

The U.S. was a major proponent for the OSCE’s adoption of the Principle on the Control of Brokering in SA/LW in November 2004. The U.S. participated in the OSCE-Regional Arms Control Verification Implementation Assistance Centre (RACVIAC) conference in March 2006.

The U.S. actively participated in all three sessions of the Group of Government Experts on Brokering, which began with the first session in November 2006 and finished with the third session in June of 2007, and fully supports the consensus Report that was adopted.

The U.S. enforces UNSC embargoes and levies criminal penalties for violations. The U.S. also supports diamond certification to end trade in “conflict diamonds” initiated by the Kimberly Process and supported by UN Resolutions. The U.S. Agency for International Development (USAID) offers support in the development of national diamond certification regimes in diamond producing countries in Africa.

The U.S. also imposes unilateral sanctions on countries that have been identified as state-sponsors of terrorism, or where arms transfers may contribute to internal or external conflict. A list of U.S. embargoed countries can be found at http://pmdtc.org/country.htm

See related sections on law enforcement and export control training.

In December 2000, the United States and the Southern African Development Community (SADC) completed the U.S.-SADC Declaration on UN Sanctions and Restraint in Sale and Transfers of Conventional Arms to Regions of Conflict in Africa.

DOD destroys military weapons which are no longer useful, serviceable or economically repairable as part of its stockpile management life-cycle program. The most thorough method of demilitarization for SA/LW is smelting. The smelting facilities at the U.S. Army’s Rock Island Arsenal are the main demilitarization facility for DOD assets, though others are used as well. When deemed more cost effective and/or practicable and when authorized by the appropriate authority, torch cutting, shearing, crushing, or smelting may be utilized. In addition, should the U.S. practice any deep water dumping, it is subject to domestic legal requirements and is held to all international regulatory agreements to which the U.S. is currently party. Relevant domestic laws include the Marine Protection, Research, and Sanctuaries Act (MPRSA), which regulates dumping of material in ocean waters. The U.S. is a party to the 1972 London Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter. Further, if approved by Senate, the U.S. will also be party to the 1996 London Protocol.

DOS Bureau of Political-Military Affairs, Office of Weapons Removal and Abatement (WRA) provides technical and financial assistance in the destruction of surplus, loosely secured, or otherwise at risk stocks of SA/LW and munitions. Since 2001 the U.S. has destroyed over one million weapons and over 90 million rounds of associated ammunition of various calibers in 41 countries. Since 2003, the U.S. has destroyed over 26,000 MANPADS in 25 countries.

The United States is lead nation in NATO/Partnership for Peace (PfP) Trust Fund projects in Ukraine and Kazakhstan to eliminate excess munitions, SA/LW, and MANPADS, and has contributed to other NATO/PfP projects. On February 22-23, 2007, the U.S. and NATO Political Affairs and Security Policy Division co-hosted a workshop on the NATO PfP Trust Fund. Over 80 participants from 43 nations and other international organizations discussed best practices for Trust Fund projects to retrain former military personnel, processes and requirements for participating states, the safe destruction of surplus munitions, SA/LW and MANPADS.

DOS Bureau of Verification, Compliance, and Implementation coordinates U.S. participation in SA/LW assistance efforts within the OSCE An OSCE workshop in February 2008 reviewed financial and managerial processes related to assistance in an effort to facilitate coordination and identify possible enhancements. The United States has contributed to OSCE projects for destroying and securing SA/LW in Tajikistan.

The United States co-drafted, with Canada and the Netherlands, a "Best Practices" Guide on SA/LW destruction, which is part of the OSCE’s "Handbook of Best Practices on SA/LW."

Under a mandate from the Summit of the Americas, the United States hosted an Experts Meeting on Confidence and Security Building Measures in February 2003, which issued a final declaration calling on members states to “identify and secure excess stocks of SA/LW, as well as seized SA/LW, and, in accordance with their national laws and the international agreements to which they are a party, to define programs for the destruction of said weapons and to invite international representatives to observe their destruction.”

The United States also supported the 2005 OAS resolution on “Denying MANPADS to Terrorists,” which (among other things) called upon states to: 1) maintain strict national controls on MANPADS stockpiles; 2) ban MANPADS transfers to non-state actors; and 3) destroy surplus MANPADS and secure remaining stocks. This was similar to the agreements adopted in the Wassenaar Arrangement in 2003 and OSCE in 2004 on Controls over MANPADS. The U.S. organized and participated in the March 8, 2007 OAS Committee on Hemispheric Security meeting dedicated to “effective strategies to mitigate the threat posed by MANPADS by non-state actors.” The meeting successfully brought together policy makers and international organizations dedicated to protecting civil aviation from the threat of the use of MANPADS by terrorists through destruction and effective stockpile security.

Stockpile management is carried out through a DOD Small Arms Serialization Program (SASP) run by the Defense Logistic Agency (DLA). The SASP is responsible for the control of, and accounting for, small arms’ serial numbers from initial receipt to final disposition. All small arms are individually registered by serial number in the DOD Central Registry. Component units of the U.S. armed forces maintain individual registries and provide reports on holdings to the DOD Central Registry on a monthly basis. Small arms with missing, obliterated, mutilated or illegible serial numbers are assigned a serial number for registry purposes. This system allows accounting for all small arms, including those on hand, in transit, lost, stolen, demilitarized or shipped outside the control of DOD.

The Defense Threat Reduction Agency (DTRA) provides Physical Security and Stockpile Management (PSSM) assessments and seminars to interested governments. Teams of U.S. experts provide on-site assessments of facilities where national SA/LW, ammunition and high explosives are stored. In addition, DTRA teams present PSSM seminars to host countries on PSSM international best practices. Physical security and stockpile management seminars have recently been provided to countries in Central America, Africa, and South Eastern Europe. DOS provides technical and financial assistance to support modest security infrastructure improvements in-line with DTRA recommendations.

To date, DTRA has conducted assessments and seminars in 35 countries. From April 14-18, 2008, DTRA and NATO Joint Forces Command hosted the NATO/PfP Balkans Physical Security and Stockpile Management (PSSM) Executive-Management Seminar in Sarajevo, Bosnia and Herzegovina. The seminar helped orient Balkans nations to international PSSM best practices in a regional forum.

The United States awarded grants in 2006-2007 (with additional funds designated for 2008) to RECSA in order to assist the RECSA states in better record keeping and marking of SA/LW.

The United States has annually offered and sponsored OAS Resolutions 1888 (2002),
1968 (2003), 1997 (2004), 2108, (2005), 2246 (2006), and 2297 (2007) encouraging member states to “secure the stockpiles of weapons under their control.”

In June 2007, the U.S. offered for adoption by the OAS General Assembly a new resolution on “Addressing Illicit Trafficking in Small Arms and Light Weapons: Stockpile Management and Security.”

U.S. experts have provided presentations on U.S. stockpile management and physical security practices and assistance programs to the UN, OSCE, Stability Pact, NATO/EAPC, OAS, CARICOM and other multilateral organizations.

In February 2008, at the Second Conference of States Parties to the CIFTA in Mexico City, the United States offered technical assistance to interested states regarding the management and security of SA/LW stockpiles. The United States first made this offer in 2003 at the First Conference of CIFTA States Parties and reiterated it at the 2004, 2005, 2006 and 2007 annual meetings of the CIFTA Consultative Committee in Washington.

DOD oversees the management and security of national military weapons stockpiles as outlined above. In addition, annual reconciliation of all small arms in the registry is performed.

The United States assists countries in the destruction of excess and illicit SA/LW stocks and can provide assessments and seminars related to stockpile management and physical security of national holdings (see previous).

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Section II, para 20, 40, and 41Education and public awareness programs on illicit trade in SA/LW; encourage role of civil society

The Department of Justice works through its components to educate and provide research grants to study illicit trafficking. The Department also works with international, federal state, and local law enforcement and the firearms industry to combat the illicit trafficking of firearms. Most notably, the Justice Department’s Project Safe Neighborhoods (to ensure that every community vigorously combats gun violence), Violent Crime Interdiction Teams, the Southwest Border Initiative, and the public-private “Don’t Lie for the Other Guy” program all foster public awareness of the means to combat illicit trafficking.

The Department of State DDTC regularly briefs industry on criminal and civil cases that have been concluded (see www.pmddtc.state.gov).

USAID has supported public awareness campaigns, in cooperation with local NGOs, to encourage local disarmament programs in Montenegro.

The United States has provided assistance through NGOs to raise SA/LW awareness.

The United States meets and consults regularly with NGOs and industry in order to raise public awareness and encourage the role of civil society in curbing illicit SA/LW proliferation.

On July 1-2, 2008 in Nairobi, Kenya, the Department of State co-sponsored and participated in the first African seminar on reducing the threat to global aviation from MANPADS. Officials from the 12 RECSA Member States and representatives from the United Kingdom and from non-governmental organizations discussed the proliferation of MANPADS in Africa’s Great Lakes Region and the Horn of Africa, and encouraged strengthened PSSM.

The United States has provided support for Disarmament, Demobilization and Reintegration (DDR) in Afghanistan, Angola, Burundi, Colombia (for child soldiers), the Democratic Republic of the Congo, East Timor, Guatemala, Haiti, Iraq, Kosovo, Liberia, East Timor, Macedonia, the Philippines, Sierra Leone, Sri Lanka, and Sudan. U.S. armed forces have regularly participated in international efforts to collect and destroy weapons in post-conflict environments, such as during SFOR and KFOR operations in the Balkans, and in Afghanistan and Iraq.

The United States supports UNSCR 1576, which urges Haiti to establish without delay, a National Commission on DDR.

The United States further supports UNSCR 1739 and UNSCR 1706. UNSCR 1739 supports the Government of Cote d’Ivoire in implementation of a national programme for the DDR of combatants, and UNSCR 1706 assists with the development and implementation of a comprehensive programme for DDR of former combatants and women and children associated with combatants, as called for in the Darfur Peace Agreement.

Section II, para 22

Special needs of children in armed conflict, rehabilitation, and reintegration

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Under USAID’s Displaced Children and Orphans Fund (DCOF), the United States offers major support to programs that work to address the physical, social, and emotional needs of children affected by war in Afghanistan, DRC, Rwanda, Sierra Leone, Sri Lanka, Sudan, Thailand, and Uganda. The International Disability and Victims of Landmines, Civil Strife and Warfare Assistance Act of 2002 authorizes wide-ranging assistance to victims of civil strife and war in foreign countries.

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Section II, para 23

Voluntary submissions on destruction and illicit trade; transparency in laws and regulations

U.S. laws and regulations on import, export, manufacture, brokering and marking of SA/LW are available on the Internet (www.pmdtc.org & www.atf.treas.gov).

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The United States has provided information on U.S. laws and regulations regarding import, export, and manufacture of SA/LW, as well as information on the destruction of excess SA/LW to the UN, OSCE, OAS, other international and regional organizations, and NGOs. A list of U.S. debarred (prohibited from obtaining export licenses) individuals and entities is available at http://pmdtc.org/debar059.htm.

Through training at the International Law Enforcement Academies (ILEAs) in Bangkok, Budapest, Gaborone and San Salvador, the U.S. assists countries to improve their institutional capacity to deter weapons trafficking through more effective enforcement mechanisms.

Through the EXBS Program, the United States promotes regional cooperation in improving export/border controls to detect and interdict illicit transfers of controlled items.

The United States supports CIFTA, the ECOWAS Moratorium, and other regional initiatives. In December 2000, the United States and SADC completed the U.S.-SADC Declaration on UN Sanctions and Restraint in Sale and Transfer of Conventional Arms to Regions of Conflict in Africa. In July 2007, the Central American Security Commission (SICA) and the U.S. issued a joint declaration on security issues. The seven Central American states and the U.S. pledged to combat illicit trafficking in small arms and light weapons by undertaking several specific measures. The declaration can be found at: http://www.state.gov/p/wha/rls/89863.htm

On December 3, 2007 CARICOM and the U.S. issued the joint initiative “CARICOM –U.S. Partnership to Combat Illicit Trafficking in Arms.” The United States and Caribbean Community Member States pledged to enhance regional cooperation to prevent, combat, and eradicate the illicit trafficking in small arms and light weapons in the region. The joint initiative can be found at: http://2001-2009.state.gov//r/pa/prs/ps/2007/dec/96143.htm

Since 2005, the United States has annually sponsored an OAS General Assembly Resolution calling on OAS states to implement the UNPOA. The U.S. also participates actively in OAS Hemispheric Security as well as CIFTA Consultative Group meetings. In 2006, the Department of State’s Bureau of Western Hemisphere Affairs provided a financial contribution to the OAS Fund established for arms collection and destruction efforts, as well as related training programs.

On July 1-2, 2008 in Nairobi, Kenya, the Department of State co-sponsored and participated in the first African seminar on reducing the threat to global aviation from MANPADS. Officials from the 12 RECSA Member States and representatives from the United Kingdom and from non-governmental organizations discussed the proliferation of MANPADS in Africa’s Great Lakes Region and the Horn of Africa, and encouraged strengthened PSSM.

The U.S. supported adoption in the Wassenaar Arrangement of the French initiative to combat illicit transport by air of SA/LW in violation of UN arms embargoes. The U.S. participated in the March 2007 OSCE seminar on this initiative and assisted in development of best practices.

The first CARICOM-U.S. Partnership to
Combat Illicit Trafficking in Arms was held on December 11-12, 2007 in Nassau, Bahamas. Thirteen CARICOM member states participated, as well as representatives of the CARICOM Secretariat and officials from international organizations such as the OAS and the UN. The primary objective of the seminar was to provide information to CARICOM member states on USG programs currently available to help combat illicit arms trafficking in the region.

Law enforcement and police training programs offered by the United States are extensive. In addition to DOJ, Customs and ATF training, the International Criminal Investigative Training Assistance Program (ICITAP) and the Office of Overseas Prosecutorial Development (OPDAT) provide law enforcement training and technical assistance to countries of Eastern and Central Europe, former Soviet Union, Latin America, Africa and Asia.

Through the EXBS program, the U.S. provides equipment and training to Border Police and Customs organizations to enhance their ability to enforce laws regarding the flow of goods and people across borders and interdict illicit trafficking in items of proliferation concern.

ATF Country Offices in Mexico, Colombia, and Canada facilitate information sharing, technical assistance, and training with host government law enforcement agencies and ATF maintains a representative at Interpol headquarters in Lyon, France. U.S. federal law enforcement agencies regularly cooperate with foreign law enforcement and judicial authorities on transnational criminal investigations.

The U.S. Department of Homeland Security’s Immigration and Custom Enforcement (ICE) representatives at U.S. embassies overseas play a significant role in customs and border security related law enforcement assistance, training and national assistance. U.S. Regional Legal Advisors (RLAs) work with foreign prosecutors, legislators and judges to improve criminal legislation, codes and regulations.

The United States cooperates extensively with foreign law enforcement agencies as well as with Interpol and the World Customs Organization (WCO). The United States supports OAS in strengthening controls over illicit arms trafficking in the OAS region.

DOS, DOD and ATF provide technical, legal and programmatic advice on currently accepted U.S. best practices and cooperate with multilateral organizations such as the G-8, OSCE,OAS, SICA, and CARICOM.

Section II, para 31Encourage regional transparency

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The United States supports transparency instruments such as the UN Register of Conventional Arms, its group of Governmental Experts, OSCE SA/LW information exchange, the Wassenaar Arrangement and efforts undertaken within the OAS.

Section II, para 33

Provide voluntary reports to UN DDA on progress on implementing the POA

The United States provides voluntary reports to UN DDA per UNGA resolution 56/24V.

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Section II, para 35Encourage UNSC, where applicable, to include DDR for peace operations

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The United States supported and joined consensus on Guinea’s March 2003 UNSC Presidential Statement recognizing the importance of DDR activities in post-conflict situations and UNSCR 1576 urging DDR in Haiti. The U.S. also supported the 2007 UNSC Presidential Statement on small arms (S/PRST/2007/24) recognizing that illicit trade of SA/LW poses a grave threat against international security and encouraging further implementation of the POA and continued arms embargoes.

Section II, para 36 Strengthen the ability of states to identify and trace illicit SA/LW

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ATF’s NTC assists law enforcement agencies worldwide to trace U.S.-origin firearms that have been used in crimes.

Through ILEAs and bilateral training courses, assistance is regularly offered on classification, ballistics, and tracing of seized weapons. ILEA Gaborone again presented a one-week Small Arms Trafficking course in August 2007 for Angola, Botswana, Cameroon, Djibouti, Ethiopia, Kenya, Lesotho, Madagascar, Mauritius, Mozambique, Nigeria, Seychelles, Uganda and Zambia. ILEA San Salvador also presented the one-week Small Arms Trafficking course in October 2007 for Guatemala, Honduras and El Salvador and anticipates presenting this course again in FY 2008 at the Regional Training Center in Lima, Peru..

INL implemented a series of courses designed to identify illicit small arms trafficking and strengthen interdiction skills in West Africa.

In 2001 INL funded a joint U.S. Customs and ATF program to assist ECOWAS member states Ghana, Nigeria and Sierra Leone to identify illicit trafficking of SA/LW. In 2003 firearms identification courses were taught in Jamaica and ballistics courses in Mexico.

Since 2006, the U.S. has awarded grants to RECSA to purchase arms marking machines and record keeping computers and to render associated training for each one of the RECSA Member States.

The United States actively participated in the Open-Ended Working Group (OEWG) on marking and tracing illicit SA/LW, and supports the Instrument adopted by consensus in June, 2005.

The USG also sent ATF representatives to the UN Marking and Tracing Implementation workshop held in Nairobi, Kenya in 2007. This workshop provided practical methods to mark and trace firearms.

DHS/ICE has law enforcement officers stationed abroad who cooperate with host government authorities and Interpol. The FBI has a similar arrangement, as do U.S. Customs authorities. ATF attaches stationed in Canada, Mexico, and Colombia provide technical and liaison assistance in firearms trafficking efforts.

The EXBS Program encourages Customs agencies to work closely with the WCO and promotes police cooperation with Interpol to enhance their capabilities to identify and prosecute illicit traffickers.

The United States cooperates extensively and shares information with Interpol and the World Customs Organization (WCO), including in international arms trafficking investigations. ATF has a Special Agent assigned to Interpol headquarters in Lyon, France.

Section II, para 38 Encourage states to ratify international legal instruments on terror and global crime

The United States has put into effect Executive Orders against those linked to terrorist activities, enacted the USA PATRIOT Act and created a Foreign Terrorist Tracking Task Force. The United States has many other initiatives in effect to fight international terrorism.

President Bush issued in August 2006 a “National Strategy to Internationalize Efforts Against Kleptocracy.” This strategy further elevated the global discussion on the fight against corruption by bringing focused attention to high-level, large-scale corruption by public officials, increasing the public-private partnership dialogue on accountability on both the demand and supply side of the issue, and guiding new areas for targeting the proceeds of grand corruption, through international cooperation, to deny safe haven and asset recovery. The Strategy stresses the need for implementation of international legal instruments on corruption such as the UN Convention against Corruption.

The United States has provided support and funding assistance through the UN Office on Drugs and Crime to promote the ratification and implementation of the UN Convention against Transnational Organized Crime and its supplemental protocols, as well as the UN Convention against Corruption, and the universal legal instruments against terrorism.

The United States has programs and advisors in a large number of developing economies working to strengthen criminal justice systems. The United States also promotes good governance and anticorruption generally through technical assistance abroad, dedicating over $350 million in FY07 alone.

The United States strongly supports UNSC 1373 (2001). The United States is a party to the UN Convention Against Transnational Organized Crime, as well as its supplemental protocols on trafficking in persons and migrant smuggling, and the UN Convention against Corruption. The United States is also a party to 12 of the 13 counterterrorism conventions and protocols adopted by the UN and its specialized agencies that are currently in force. These include the UN Convention for the Suppression of the Financing of Terrorism and the UN Convention for the Suppression of Terrorist Bombings, as well as the Inter-American Convention against Terrorism. The President signed the thirteenth, the Nuclear Terrorism Convention, in September 2005, and, in February 2006, the U.S. signed the Protocol to the Convention on the Suppression of Unlawful Acts against the Safety of Maritime Navigation and the Protocol for the Suppression of Unlawful Acts against the Safety of Fixed Platforms Located on the Continental Shelf. An amendment to the Convention on the Physical Protection of Nuclear Materials does not require signature, but is subject to ratification. The U.S. has signed the 4 recent universal instruments and submitted them to the Senate for advice and consent to ratification in 2007. On May 7, 2008 the SFRC held a hearing on the 4 treaties and as of the release of this matrix, they still have to be voted out of Committee and go to the full Senate for advice and consent for ratification. The United States also supports the Egmont Group (financial intelligence sharing), OAU, ASEAN, EU, APEC, OAS, CICTE, OSCE, UNODC, and other multilateral initiatives against terror and global crime.

With respect to promotion of standards against corruption, the United States also works through regional instruments and multilateral fora, including the Group of Eight (G-8), the Asia-Pacific Economic Cooperation (APEC) Forum, the OECD, the Council of Europe, and the Organization of American States, and through G-8 regional partnerships such as the Middle East (Good Governance for Development in Arab States).

While the U.S. has yet to ratify either the UN Firearms Protocol or CIFTA, it is in substantial compliance with both instruments as well as the 2005 UN Marking and Tracing instrument.

Section II, para 39 Develop common understanding on illicit brokering and work to combat the same

The United States has a brokering law and regulations in effect and encourages the adoption of effective brokering laws and regulations by other states.

The EXBS program (program discussed above in Section II, para 11 of this matrix) and others provide assistance in developing effective strategic trade control laws that address arms brokering and enforcement mechanisms.

The U.S. actively participated in the Group of Government Experts on Illicit Brokering, which concluded its work in June 2007. In June 2002, the United States sponsored an Organization of American States (OAS) General Assembly resolution calling for the development of model brokering regulations and the preparation of a study on arms brokering. The United States participated in the April 2003 OAS/CICAD Firearms Experts Group meeting that drafted model brokering regulations (adopted by the OASGA in 2004). The United States also supported the 2003 Wassenaar agreement on Elements for Effective Legislation on Brokering.

In June 2004, OAS AG/RES. 1997, which was drafted by the United States, urged OAS member states to adopt brokering regulations based on the CICAD model regulations in the area.

See throughout this matrix. The United States strongly advocates for coordination and cooperation to most effectively utilize donor resources available to implement the POA. The U.S. funded a UN Institute for Disarmament Research study in 2006 and 2007 titled, “International Assistance for implementing the Program of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects.”

See throughout this matrix. The U.S. also participated in both the “UN Regional Symposium on the Implementation, by the Arab States, of the Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects” in Algiers, April 11-13, 2005, and the UN regional workshop on SA/LW in Beijing, April 19-21, 2005. In 2007, the U.S. participated in the April League of Arab States conference on POA implementation in Cairo, the Expert Meeting on Stockpile Management and Security in Berlin, April 3-4, and the Informal Meeting on Transfer Control Principles for Small Arms and Light Weapons in Geneva in August.

The U.S. imposes unilateral sanctions on countries that have been identified as state-sponsors of terrorism, or where arms transfers may contribute to internal or external conflict. A list of U.S. embargoed countries can be found at http://pmdtc.org/country.htm

USAID is committed to addressing violent conflict wherever it falls within the agency’s mandate and capacity. These contributions are most often through support to peace and reconciliation processes, creating safe space for community dialogue, engaging potential conflict spoilers, analyzing and addressing the underlying conditions that fuel violent extremism, and incorporating conflict resolution components and conflict-sensitive approaches in all development activities.

In December 2000, the United States and SADC completed the U.S.-SADC Declaration on UN Sanctions and Restraint in Sale and Transfer of Conventional Arms to Regions of Conflict in Africa.

Section III, para 5
Develop and strengthen partnerships to share resources and information on the illicit trade in SA/LW in all its aspects.

N/A

Various. See throughout this matrix. The United States strongly advocates for partnership in coordination and cooperation to most effectively share resources and information.

On December 3, 2007 CARICOM and the U.S. issued the joint initiative “CARICOM –U.S. Partnership to Combat Illicit Trafficking in Arms.” The United States and Caribbean Community Member States pledged to enhance regional cooperation to prevent, combat, and eradicate the illicit trafficking in small arms and light weapons in the region. The joint initiative can be found at: http://2001-2009.state.gov/r/pa/prs/ps/2007/dec/96143.htm

Since 2005, the United States has annually sponsored an OAS General Assembly Resolution calling on OAS states to implement the UNPOA. The U.S. also participates actively in OAS Hemispheric Security as well as CIFTA Consultative Group meetings. In 2006, the Department of State’s Bureau of Western Hemisphere Affairs provided a financial contribution to the OAS Fund established for arms collection and destruction efforts, as well as related training programs

The United States also works through regional instruments and multilateral fora, including the Group of Eight (G-8), the Asia-Pacific Economic Cooperation (APEC) Forum, the OECD, the Council of Europe, and the Organization of American States, and through G-8 regional partnerships such as the Middle East (Good Governance for Development in Arab States).

Section III, para 8 Regional and international programs for training in stockpile management and security

N/A

Reference previous comment on Section II, para 17, 29. The United States currently offers a program to assist governments interested in improving Physical Security and Stockpile Management procedures, practices and infrastructure.

The United States has participated in the workshops organized by the OSCE on stockpile management.

The U.S. also supported development of the OSCE best practices guide on stockpile management.

Section III, para 9 Support for Interpol International Weapons and Explosives Tracking System (IWETS) database

N/A

The United States, through INL, has contributed $125,000 to the development of the Interpol IWETS database. ATF has provided technical assistance in expanding the use of IWETS to fight weapons and explosives trafficking, and additionally placed a liaison at Interpol in Lyon, France.

The United States shares information on a bilateral basis with Interpol.

The U.S. is also working with Interpol in the development of a Web-based tracing mechanism for SA/LW.

DOS, DOD and U.S. Customs authorities exchange information and work to increase international cooperation in controlling the export of U.S.-origin munitions. ATF provides technical advice and legal assistance in implementing integrated ballistic imaging systems, and national and regional tracing centers.

The U.S. National Tracing Center (NTC) assists countries in tracing U.S.-origin arms used in criminal activities. According to the most recent data available, between January 1994 and December 2006, over 200,000 such traces were conducted on behalf of foreign law enforcement agencies. Segments of the core course program as well as specialized courses provide training in the identification and tracing of illegal weapons.

Within the G-8 Lyon-Roma Group, the United States has supported cooperation in illicit arms tracing among G-8 countries.

Section III, para 12 Voluntary information exchange with other States on U.S. SA/LW marking systems

N/A

N/A

Various. See throughout this matrix. The U.S. provides financial assistance and training in the marking of SA/LW through many grants and programs.

In December 2007, the United States attended and participated in the Marking & Tracing seminar in Nairobi, sponsored by the UNODA. Information on current U.S. procedures for marking, tracing, and record keeping was made available, and the U.S. laid out what types of possible future assistance and programs in the area of marking and tracing it has to offer.

Since 2006, the U.S. has awarded grants to RECSA to purchase arms marking machines and record keeping computers and to render associated training for each one of the RECSA Member States.

ATF provides investigative assistance on international trafficking cases involving U.S. source firearms, including those relating to drug trafficking, terrorism and organized crime.

U.S. counter-narcotics and counter-terrorism training and assistance programs are extensive. The Drug Enforcement Administration (DEA) and other law enforcement agencies provide training and support to drug-producing and transiting countries worldwide.

The United States has stepped up bilateral information exchanges through law enforcement and intelligence channels. The United States seeks to improve international sanctions, anti-money laundering coordination, as well as other initiatives in the fight against terrorism.

Border control equipment and training provided under the EXBS program strengthens the general capability of recipient agencies to detect and interdict illicit trafficking activities.

As a complement to bilateral efforts, the United States provides support and funding to the UN Office on Drugs and Crime (UNODC) for counter-narcotics and anti-crime training and assistance. As the primary drug control and anti-crime agency within the UN system, the United States works with and through the organization to build multilateral support to strengthen counter-narcotics and anti-crime efforts.

Section III, para 17Address development concerns as they relate to SA/LW proliferation

N/A

The United States is working to integrate SA/LW destruction with DDR programs where appropriate (e.g., Angola and Afghanistan).

As the lead U.S. agency providing development assistance overseas, USAID works closely with host governments and local communities to identify priorities for assistance programs.

N/A

Section III, para 18Develop and support research aimed at facilitating better understanding of the nature and scope of the problems associated with the illicit trade in SA/LW in all its aspects.

For the problem of illicit trade, in the U.S. Government responsibility for researching and monitoring the illicit SA/LW trade is generally shared by the Department of Justice’s (DOJ) Bureau of Alcohol, Tobacco Firearms and Explosives (ATF) (domestic), the Department of State (DOS) (international and domestic from an export, temporary import, and brokering perspective), the Department of Defense (DOD), and the Department of Homeland Security (DHS).

The Department of Justice works through its components to educate and provide research grants to study illicit trafficking.

The U.S. has provided and continues to provide many SA/LW grants and research opportunities.

The U.S. funded a UN Institute for Disarmament Research study in 2006 and 2007 titled, “International Assistance for implementing the Program of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light Weapons in All Its Aspects.”

Various. See throughout this matrix. In 2006, the Department of State provided the Small Arms Survey with a grant to research its project on “Systematic International Small Arms Management: Stockpile Mapping, Surplus Identification, and Loss Simulation” to facilitate planning for stockpile security management and surplus SA/LW destruction.

Section IV, para 1

Review conference by 2006; biennial meetings on implementation of POA; UN study on tracing; further steps to combat illicit brokering

N/A

N/A

The United States actively participated in the 2003 and 2005 biennial meeting and the 2006 Review Conference on implementing the POA.

The United States has actively participated in all UN meetings related to preventing, combating, and eradicating illicit brokering in SA/LW. The United States supported meetings leading up to and including the 2006 Review Conference. The U.S. participated in the OSCE/RACVIAC conference in March 2006.

The U.S. actively participated in all three sessions of the Group of Government Experts on Brokering, which began with the first session in November 2006 and finished with the third session in June of 2007. The U.S. fully supports the consensus Report that was adopted at the completion of the third session.

Acronyms
AECA Arms Export Control Act
ATF Bureau of Alcohol, Tobacco, Firearms and Explosives (DOJ)
CARICOM Caribbean Community
CICAD Inter-American Drug Control Commission
CICTE Inter-American Committee Against Terrorism
CIFTA Inter-American Convention Against the Illicit Manufacturing of and Trafficking in Firearms, Ammunition, Explosives, and Other Related Materials
DDTC Directorate of Defense Trade Controls (DOS)
DEA Drug Enforcement Agency
DHS Department of Homeland Security
DOD Department of Defense
DOJ Department of Justice
DOS Department of State
DTRA Defense Threat Reduction Agency (DOD)
EXBS Export Control and Related Border Security
FBI Federal Bureau of Investigation
FSC Forum for Security Cooperation (OSCE)
GCA Gun Control Act of 1968
IADB Inter-American Defense Board
ICE Immigration and Customs Enforcement (DHS)
ILEA International Law Enforcement Academy
INL Bureau of International Narcotics and Law Enforcement Affairs (DOS)
INS Immigration and Naturalization Service
ISN Bureau of International Security and Nonproliferation (DOS)
ITAR International Traffic in Arms Regulations
LOGSA Logistical Support Agency (U.S. Army)
MANPADS Man-Portable Air Defense Systems
OAS Organization of American States
OASGA Organization of American States General Assembly
OSCE Organization for Security and Cooperation in Europe
PM Bureau of Political-Military Affairs (DOS)
RLA Regional Legal Advisors
SASP Small Arms Serialization Program (DOD)
SICA Central American Integration System
UN DDA United Nations Department for Disarmament Affairs
UNGA United Nations General Assembly
UN POA United Nations Programme of Action to Prevent, Combat and Eradicate the Illicit Trade in Small Arms and Light
Weapons in All Its Aspects
USAID U.S. Agency for International Development
USML U.S. Munitions List
WCO World Customs Organization

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